ARC 8437C

ARC 8437C

Rulemaking related to fair information practices

Notice of Intended Action for this rulemaking was published in the Iowa Administrative Bulletin on September 18, 2024, as ARC 8210C. A public hearing was held on the following date(s):

●October 8, 2024

●October 15, 2024

No one attended the first public hearing. Two people attended the second public hearing but had no comments or questions.No changes from the Notice have been made.

ITEM 1.Rescind 205—Chapter 5 and adopt the following new chapter in lieu thereof:

CHAPTER 5

FAIR INFORMATION PRACTICES

The board of parole hereby adopts, with the following exceptions and amendments, the uniform rules on agency procedure relating to fair information practices, which are published at www.legis.iowa.gov/DOCS/Rules/Current/UniformRules.pdf on the general assembly’s website.

205—5.1(17A,22) Definitions. As used in this chapter:

“Agency” means the board of parole.

“Confidential records” means records as defined under Iowa Code sections 22.7, 22.8, 904.601, 904.602, and 904.603.

“Open records” means those records that are defined by Iowa Code section 22.7, 22.8, 904.601, or 904.602 or any other provision of the law.

205—5.2(17A,22) Statement of policy. The purpose of this chapter is to facilitate broad public access to open records. It also seeks to facilitate sound agency determinations with respect to the handling of confidential records and the implementation of the fair information practices Act. This agency is committed to the policies set forth in Iowa Code chapter 22. Agency staff will cooperate with members of the public in implementing the provisions of that chapter.

205—5.3(17A,22) Requests for access to records.

5.3(1) Location of record. A request for access to a record should be directed to the office where the record is kept. Records of current inmates, work releasees, and parolees are maintained in the office of the Board of Parole, Jessie Parker Building, 510 East 12th Street, Des Moines, Iowa 50319; telephone 515.725.5757.

5.3(2) Office hours. Open records will be made available during all customary office hours, which are 8 a.m.

to 4:30 p.m., Monday through Friday, excluding legal holidays.

5.3(3) Request for access. Requests for access to records may be made in writing, in person, by telephone, or by electronic means if the request is for open record information. Requests should identify the particular records sought by name or description in order to facilitate the location of the record. Mail requests should include the name, address, and telephone number of the person requesting the information. A person is not required to give a reason for requesting an open record.

5.3(4) Response to requests. The custodian is authorized to grant or deny access to the record according to the provisions of Iowa Code chapter 22 and sections 904.601, 904.602, and 904.603 and this chapter. The decision to grant or deny access may be delegated to one or more designated employees. Unless the size or nature of the request requires time for compliance, the agency should comply with the request as soon as practicable. However, access to such a record may be delayed for one of the purposes authorized by Iowa Code section 22.8(4) or 22.10(4) or for good cause. The agency should promptly inform the requester of the reason for the delay. A request to review a confidential record should be in writing and enumerate the specific grounds justifying access to the confidential record and should provide any proof necessary to establish relevant facts prior to receiving access to the record.

5.3(7) Fees.

c.Hourly fee. A reasonable hourly fee may be charged for actual agency expenses in providing requested records when the time required is in excess of 30 minutes. That hourly fee will not be in excess of the hourly wage of an agency employee who ordinarily would be appropriate and suitable to perform this function. Reasonable costs may also be assessed for copying and providing records through means other than electronic mail.

205—5.5(17A,22) Requests for treatment of a record as a confidential record and its withholding from examination.

5.5(5) Request granted or deferred. If a request for confidential record treatment is granted, or if action on such a request is deferred, a copy of the record from which the matter in question has been deleted and a copy of the decision to grant the request or to defer action upon the request will be placed in the agency’s public file in lieu of the original record. If the agency subsequently receives a request for access to the original record, the agency will make reasonable and timely efforts to notify any person who has filed a request for its treatment as a confidential record.

205—5.6(17A,22) Procedure by which additions, dissents, or objections may be entered into certain records. Except as otherwise provided by law, a person may file a request with the custodian to review, and to have a written statement of additions, dissents, or objections entered into, a record containing personally identifiable information pertaining to that person. However, this does not authorize a person who is the subject of such a record to alter the original copy of that record or to expand the official record of any agency proceeding. Requesters should send the request to review such a record or the written statement of additions, dissents, or objections to the custodian or to the Board of Parole, Jessie Parker Building, 510 East 12th Street, Des Moines, Iowa 50319. The request to review such a record or the written statement of such a record of additions, dissents, or objections must be dated and signed by the requester, and should include the current address and telephone number of the requester or the requester’s representative.

205—5.7(17A,22) Consensual disclosure of confidential records.

5.7(1) Consent to disclose by a subject individual. To the extent allowed by law, the subject may consent in writing to agency disclosure of confidential records.

5.7(2) Complaints to public officials. A letter from a subject of a confidential record to a public official that seeks the official’s intervention on behalf of the subject in a matter that involves the agency may, to the extent permitted by law, be treated as an authorization to release sufficient information about the subject to the official to resolve the matter.

5.7(3) Obtaining information from a third party. The board is required to obtain information to assist in making decisions regarding classification, programming, security, and administrative management. Requests to third parties for this information may involve the release of confidential information about individuals. Except as provided by law, the board may make these requests only when the individual has authorized the release.

205—5.8(17A,22) Routine use. To the extent allowed by law, the following uses are considered routine uses of all agency records:

5.8(1) Disclosure to those officers, employees, and agents of the agency who have a need for the record in the performance of their duties. The custodian of the record may, upon request of any officer or employee, or on the custodian’s own initiative, determine what constitutes legitimate need to use confidential records.

5.8(2) Disclosure of information indicating an apparent violation of the law to appropriate law enforcement authorities for investigation and possible criminal prosecution, civil court action, or regulatory order.

5.8(3) Disclosure to the department of inspections, appeals, and licensing for matters in which it is performing services or functions on behalf of the agency.

5.8(4) Transfers of information within the agency, to other state agencies, or to units of local government as appropriate to administer the program for which the information is collected.

5.8(5) Information released to staff of federal and state entities for audit purposes or for purposes of determining whether the agency is operating a program lawfully.

5.8(6) Any disclosure specifically authorized by the statute under which the record was collected or maintained.

205—5.9(17A,22) Disclosures without the consent of the subject.

5.9(1) Open records are routinely disclosed without the consent of the subject.

5.9(2) To the extent allowed by law, disclosure of confidential records may occur without the consent of the subject. Below are instances when disclosure, if lawful, will generally occur without notice to the subject:

a.For a routine use as permitted by law and in the particular record system.

b.To a recipient who has provided the agency with advance written assurance that the record will be used solely as a statistical research or reporting record, provided that the record is transferred in a form that does not identify the subject.

c.To another government agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of such government agency or instrumentality has submitted a written request to the agency specifying the record desired and the law enforcement activity for which the record is sought.

d.To an individual pursuant to a showing of compelling circumstances affecting the health or safety of any individual if a notice of the disclosure is transmitted to the last-known address of the subject.

e.To the legislative services agency under Iowa Code section 2A.3.

f.Disclosures in the course of employee disciplinary proceedings.

g.In response to a court order or subpoena.

h.In the course of ordinary deliberations during an open meeting.

205—5.10(17A,22) Release to subject.

5.10(1) The subject of a confidential record may file a written request to review confidential records about that person. However, the board need not release the following records to the subject:

a.The identity of a person providing information to the agency need not be disclosed directly or indirectly to the subject of the information when the information is authorized to be held confidential pursuant to Iowa Code sections 22.7(18) and 904.602.

b.Records need not be disclosed to the subject when they are the work product of an attorney or are otherwise privileged.

c.Peace officers’ investigative reports may be withheld from the subject, except as required by the Iowa Code.

d.Other records as otherwise authorized by law need not be released.

5.10(2) When a record has multiple subjects with interest in the confidentiality of the record, the board may take reasonable steps to protect confidential information relating to another subject.

205—5.11(17A,22) Availability of records.

5.11(1) Open records. Board records are open for public inspection and copying unless otherwise prohibited by current rule or law.

5.11(2) Confidential records. Public records as identified in Iowa Code section 22.7 may be kept confidential, unless otherwise ordered by a court, by the lawful custodian of the records, or by another person duly authorized to release such information.

205—5.12(17A,22) Personally identifiable information.

5.12(1) Personally identifiable information. This rule describes the nature and extent of personally identifiable information that is collected, maintained, and retrieved by the agency by personal identifier in record systems as defined in this rule. For each record system, this rule:

a.Describes the legal authority for the collection of that information and the means of storage of that information; and

b.Indicates whether a data processing system matches, collates, or permits the comparison of personally identifiable information in one record system with personally identifiable information in another record system.

5.12(2) Litigation files. These files or records contain information regarding litigation or anticipated litigation, which includes judicial and administrative proceedings. The records include briefs, depositions, docket sheets, documents, correspondence, attorney notes, memoranda, research materials, witness information, investigation materials, information compiled under the direction of the attorney, and case management records. The files contain materials that are confidential as attorney work product and attorney-client communications. Some materials are confidential under other applicable provisions of law or because of a court order. Persons requesting copies of pleadings and other documents filed in litigation should obtain these from the clerk of the appropriate court that maintains the official copy.

5.12(3) Personnel files. The agency maintains files containing information about employees, families and dependents, and applicants for positions with the agency. The files include payroll records, biographical information, medical information relating to disability, performance reviews and evaluations, disciplinary information, and tax withholding information concerning the employer-employee relationship. Some of this information is confidential under Iowa Code section 22.7(11).

205—5.13(17A,22) Other groups of records available for public inspection—policies and procedures (excluding security), meeting minutes. This rule describes groups of records maintained by the board other than record systems as previously defined. These records are routinely available to the public. However, the board’s files of these records may contain confidential information, as discussed in rule 205—5.11(17A,22). The following records are available:

5.13(1) Rulemaking records. Rulemaking records may contain information about individuals making written or oral comments on proposed rules. This information is collected pursuant to Iowa Code section 17A.4.

5.13(2) Board meeting records. Agendas, minutes, and materials presented to the board are available from the board’s business office, except those records concerning closed sessions that are exempt from disclosure under Iowa Code section 21.5(4) or that are otherwise confidential by law. Board meeting records contain information about people who participate in meetings. The information is collected pursuant to Iowa Code section 21.3. This information is not retrieved by an individual identifier.

5.13(3) Publications. News releases, annual reports, project reports, and related documents are available from the board office. Board news releases, annual reports, and project reports may contain information about individuals, including board staff or members of the board councils or committees. This information is not retrieved by an individual identifier.

5.13(4) Statistical reports. Periodic reports of the board for various board programs are available from the board office. Statistical reports do not contain personally identifiable information.

5.13(5) Grants. Records on persons receiving grants for various projects or programs are available through the board’s business office. These records may contain information about employees or a grantee. This information is not retrieved by an individual identifier and is not stored on an automated data processing system. The information is collected under the authority of Iowa Code chapter 904.

5.13(6) Published materials. The board uses many legal and technical publications in its work. The public may inspect these publications upon request. Some of these materials may be protected by copyright law.

5.13(7) Policy manuals. The board employees’ manual, containing procedures describing the board’s regulations and practices, is available. Subscriptions to all or part of the employees’ manual are available at the cost of production and handling. Requests for subscription information should be addressed to the board office. Policy manuals do not contain information about individuals.

5.13(8) Other records. All other records that are not exempt from disclosure by law are available from the board office.

205—5.14(17A,22) Applicability. This chapter does not:

5.14(1) Require the agency to index or retrieve records that contain information about an individual by that person’s name or other personal identifier.

5.14(2) Make available to the general public records that would otherwise not be available under the public records law, Iowa Code chapter 22.

5.14(3) Govern the maintenance or disclosure of, notification of, or access to records in the possession of the agency that are governed by the regulations of another agency.

5.14(4) Apply to grantees, including local governments or subdivisions thereof, administering state-funded programs, unless otherwise provided by law or agreement.

5.14(5) Make available records compiled by the agency in reasonable anticipation of court litigation or formal administrative proceedings. The availability of such records to the general public or to any subject individual or party to such litigation or proceedings are governed by applicable legal and constitutional principles, rules of discovery, evidentiary privileges, and applicable regulations of the agency.

These rules are intended to implement Iowa Code section 22.11 and chapter 17A.

[Filed 11/15/24, effective 1/15/25]

[Published 12/11/24]

EDITOR’S NOTE: For replacement pages for IAC, see IAC Supplement 12/11/24.